SEC Form 4 · accession 0001140361-15-008998
YuMe Inc · YUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jayant Kadambi
Officer — CHAIRMAN, PRESIDENT, & CEO · Director
Period of report
Feb 19, 2015
Accepted (ET)
Feb 25, 2015 · 7:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001415624
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 19, 2015 | J | 2,814 | $4.352 | A | 698,863 | D | |
| Common StockF2,F3 | holding | — | — | — | 17,304 | I | By Jayant Kadambi 2013 Annuity Trust dated June 26, 2013 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired under the Issuer's Employee Stock Purchase Plan in transactions that were exempt under Rule 16b-3(c).
- F2Reflects 82,696 shares that were distributed from the Jayant Kadambi Annuity Trust to the Reporting Person in a transaction that was exempt from reporting under Rule 16a-13.
- F3The Reporting Person has sole voting and investment control over the shares held by the Jayant Kadambi 2013 Annuity Trust dated June 26, 2013.